Our client is an international financial institution that focuses on providing clients with global investment solutions that meet the demands and challenges of sophisticated and complex investment and economic circumstances. They are currently looking for a high calibre candidate to join them in Hong Kong.
Lead and oversee product advisory Compliance in Hong Kong ensuring business strategies, plans and initiatives are executed / delivered in compliance with governing regulations, internal policies and procedures. Lead and drive a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems and knowledge. Responsible for regulatory compliance oversight and the provision of advice to business lines in Hong Kong and will also support APAC Compliance colleagues with product advice as required. Ensure that compliance obligations are met by fostering satisfactory relationships with regulatory authorities. Participate in the development, implementation and maintenance of appropriate compliance policies and procedures, provide sound regulatory advice, partner with Operational Risk Oversight and the business lines and take a proactive role in driving forward new business initiatives. Implementing any regulatory change initiatives or projects that affect the Hong Kong and APAC businesses as well as implementing appropriate monitoring for those businesses in line with the relevant APAC compliance monitoring and testing plan. Report on compliance and regulatory issues to local and regional management.
To qualify, you will be a degree holder with a minimum of 8 years of relevant compliance experience in a financial institution. Advanced knowledge and understanding of securities/banking rules, regulations, by-laws, policies and procedures. Detailed knowledge of Global Banking and Markets products and associated laws, regulations and practices. Thorough knowledge of the trading practices relevant to OTC and on-exchange markets that span different branches/entities and jurisdictions.
Interested applicants should send a detailed resume to Michelle Ho by email to firstname.lastname@example.org or by fax to (852) 2838 3323 quoting reference eFC2818.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)